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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An arrangement wherein a terminally ill person sells a second party his life insurance policy at a discount
from its face value, giving the buyer the right to the policy's face value when the seller dies is called a:

A) viatical settlement.
B) deceased option.
C) life straddle.
D) death warrant.

2. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.
B) a credit union that operates within the state and provides loans to its members
C) an agent who executes the purchase and sale of stocks and bonds for his clients
D) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies

3. Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A) a debenture
B) a certificate of deposit (CD)
C) an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.
D) a put option

4. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and
arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to
market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the
public. In this scenario, which party is the broker?

A) BigFee Investment Bankers
B) Mr. Bigwig
C) GetErDone Broker-Dealers
D) HiGrowth Corporation

5. Which of the following would not be found in a tombstone advertisement?

A) the price at which the security will be offered
B) the interest rate and time to maturity of a bond issue
C) the names of the underwriters
D) the name of the issuer

Solutions: